In this episode of FInsight, we examine the takeaways for financial institutions from the 2021/2022 Digital Transformation and Cloud Survey.
In the eighth installment in the Finding Balance series, we take a closer look at the phenomena of rising global indebtedness and alternative financing.
In this report – FI Takeaways from the 2021/2022 Digital Transformation and Cloud Survey – we provide you with an overview of the responses from financial institutions (FI), together with our insights from almost a decade’s experience of surveying the marketplace and thought leadership in digital transformation and cloud.
On 18 November 2021, the Securities and Exchange Commission (“SEC”) published for comment proposed amendments to the broker-dealer recordkeeping rules with respect to the use of electronic storage. The principal change would be to eliminate the current requirement that electronic records of broker-dealers be stored solely in a “write once, read many” (WORM) format.
The SEC Division of Examinations (Exams) recently published a Risk Alert discussing observations on investment adviser fee calculations resulting from a review of approximately 130 firms. This 2021 Risk Alert supplements a prior alert on the same topic that Exams (then, the Office of Compliance Inspections and Examinations) published in 2018.
Our new episode is the second of two episodes focusing on cryptoassets and regulatory developments, taking off from our publication Crypto around the World. The episode covers ESG, decentralized finance (DeFi) and the future impact of central bank digital currencies.